About the role Foundational HR role to establish Compliance policies and processes in Thailand
Head of Compliance
Responsibilities:
Compliance Risk Management & Monitoring:
- Identifying and managing compliance risks, including money laundering, terrorism financing, personal data protection, and bribery and corruption risks.
- Managing Conflict of Interest and ensuring proper corporate governance.
- Analyzing the impact of regulatory and policy changes and communicating them throughout the organization.
- Establishing and reviewing compliance manuals and internal policies.
- Supervising business activities and personnel to ensure compliance.
- Developing and reviewing compliance programs and addressing non-compliance situations.
Advisory & Effective Communication:
- Advising the board and senior management on compliance-related laws, rules, and standards.
- Ensuring proper dissemination of notifications from regulatory bodies.
- Maintaining communication with stakeholders within the organization.
Continuous Training and Updates on Regulatory Developments:
- Providing training to employees on relevant regulatory requirements.
Compliance & Integrity Culture:
- Promoting and monitoring the integrity of the organization.
- Advocating a compliance culture and providing guidance on compliance issues.
Escalation and Reporting on Compliance Matters:
- Developing processes for escalating and reporting compliance matters.
- Highlighting compliance issues to the Board of Directors and senior management.
- Reporting breaches to regulatory bodies.
Consequence Management on Breaches:
- Ensuring procedures are in place for identifying and dealing with breaches.
Stakeholder Management:
- Acting as a liaison officer for regulatory engagements.
Management of Department:
- Managing the department's day-to-day operations, including coaching and budget management.
Ad-Hoc duties As per assigned from time to time
Requirements
- Bachelor’s degree in Law, Finance, Business, or related field.
- Strong experience in compliance roles within Thai securities brokerage / fintech.
- Solid knowledge of SEC Thailand, SET/TSD/TFEX rules, and AMLO AML/CFT requirements.
- Experience handling regulatory submissions, audits, inspections, and preferably brokerage licensing applications.
- Familiar with PDPA, investor protection rules, KYC/EDD, digital onboarding, and conduct risk.
- Proven leadership and ability to build a compliance function from the ground up.
- Strong communication skills with regulators and senior management.
- Language: Native Thai and Fluent English; Chinese is a plus for regional collaboration.